Name of Individual or Identity of Group | | Number of Shares of Common Stock Beneficially Owned(1) | | Percent of Common Stock Beneficially Owned(1) | | | Type of ownership | | Number of Shares of Common Stock Beneficially Owned(1) | | Percent of Common Stock Beneficially Owned(1) | | |||||||||||||||||
Directors and Executive Officers: | | | | | | | | | | | | | | | | | | | | | | | | | |||||
Interested Directors | | | | | | | | | | | | | | | | | | | | | | | | | |||||
David N. Miller(2) | | | | 3,179.521 | | | | | * | | | | Record/Beneficial | | | | 10,527 | | | | | * | | | |||||
Jeffrey S. Levin | | | | 12,644.790 | | | | | * | | | | Record/Beneficial | | | | 42,033 | | | | | * | | | |||||
Independent Directors | | | | | | | | | | | | | | | | | | | | | | | | | |||||
Joan Binstock(3) | | | | 3,954.996 | | | | | * | | | | Record/Beneficial | | | | 24,050 | | | | | * | | | |||||
Bruce Frank(4) | | | | 635.903 | | | | | * | | | ||||||||||||||||||
Bruce D. Frank(4) | | Record/Beneficial | | | | 2,414 | | | | | * | | | ||||||||||||||||
Kevin Shannon | | | | 2,528.958 | | | | | * | | | | Record/Beneficial | | | | 20,797 | | | | | * | | | |||||
Adam Metz(5) | | | | 12,550.726 | | | | | * | | | | Record/Beneficial | | | | 41,939 | | | | | * | | | |||||
Executive Officers Who Are Not Directors | | | | | | | | | | | | | | | | | | | | | | | | | |||||
Orit Mizrachi | | | | 1,271.810 | | | | | * | | | | Record/Beneficial | | | | 4,211 | | | | | * | | | |||||
Michael Occi | | N/A | | | | — | | | | | | | | ||||||||||||||||
Venugopal Rathi | | | | 1,271.810 | | | | | * | | | | Record/Beneficial | | | | 4,211 | | | | | * | | | |||||
Grove Stafford | | | | — | | | | | * | | | ||||||||||||||||||
Thomas P. Torrisi | | N/A | | | | — | | | | | * | | | ||||||||||||||||
All Directors and Executive Officers as a Group (nine persons) | | | | 38,038.514 | | | | | 0.20% | | | | | | | | 150,182 | | | | | 0.21% | | | |||||
Beneficial Ownership of 5% or More: | | | | | | | | | | | | | | | | | | | | | | | | | |||||
MS Credit Partners Holdings Inc.(6) | | | | 2,537,598.875 | | | | | 13.3% | | | | Record/Beneficial | | | | 8,414,293 | | | | | 11.9% | | |
| | | Age | | | Position(s) held with the Company | | | Number of Portfolios in Fund Complex Overseen by Director(1) | | | Expiration of Term | | | Director Since | | | Principal Occupation(s) During Past 5 Years | | | Other Directorships of Public or Registered Investment Companies Held by Director or Nominee for Director During Past 5 Years | |
Nominees for Class II Directors | | | | | | | | | | | | | | | | | | | | | | |
Interested Director | | | | | | | | | | | | | | | | | | | | | | |
Jeffrey S. Levin(2) | | | 40 | | | Chief Executive Officer and President, Director | | | 2 | | | 2021 | | | 2019 | | | Chief Executive Officer and President of the Company since October 2019; Chief Executive Officer and President of SL Investment Corp. since September 2020; Head of Direct Lending in Private Credit & Equity at Morgan Stanley since February 2019; Partner at The Carlyle Group and President of TCG BDC, Inc. and TCG BDC II, Inc. from May 2016 to February 2019; Head of Origination for The Carlyle Group’s Direct Lending platform from 2012 to May 2016 | | | None | |
Independent Director | | | | | | | | | | | | | | | | | | | | | | |
Joan Binstock | | | 67 | | | Director | | | 2 | | | 2021 | | | 2019 | | | Senior Advisor at Lovell Minnick Partners, LLC since June 2018; Partner at Lord, Abbett & Co. LLC from 2000 to April 2017, including positions as Chief Operating Officer and Chief Financial Officer | | | SimCorp A/S since March 2018; Brown Brother Harriman US Mutual Funds since September 2019; KKR Real Estate Select Trust, Inc. since August 2020 | |
Class III Directors | | | | | | | | | | | | | | | | | | | | | | |
Independent Directors | | | | | | | | | | | | | | | | | | | | | | |
Bruce Frank | | | 67 | | | Director | | | 2 | | | 2022 | | | 2019 | | | Retired | | | VEREIT, Inc. from July 2014 to March 2017; ACRE Realty Investors Inc. from November 2014 to December 2018 | |
Adam Metz | | | 59 | | | Director | | | 2 | | | 2022 | | | 2019 | | | Head of International Real Estate of The Carlyle Group from October 2013 to April 2018 | | | Forest City Enterprises from April 2018 to December 2018; Parkway Properties from June 2012 to October 2016 | |
Class I Directors | | | | | | | | | | | | | | | | | | | | | | |
Interested Director | | | | | | | | | | | | | | | | | | | | | | |
David N. Miller(3) | | | 45 | | | Chair of the Board | | | 2 | | | 2023 | | | 2019 | | | Head of Global Private Credit & Equity at Morgan Stanley and a member of the management committee at Morgan Stanley Investment Management (“MSIM”) since 2016; President and Chief Executive Officer of Silver Bay Realty Trust Corp., a publicly traded real estate investment trust from 2012 to January 2016 | | | None | |
| | | Age | | | Position(s) held with the Company | | | Number of Portfolios in Fund Complex Overseen by Director(1) | | | Expiration of Term | | | Director Since | | | Principal Occupation(s) During Past 5 Years | | | Other Directorships of Public or Registered Investment Companies Held by Director or Nominee for Director During Past 5 Years | |
Independent Director | | | | | | | | | | | | | | | | | | | | | | |
Kevin Shannon | | | 66 | | | Director | | | 2 | | | 2020 | | | 2019 | | | Chief Financial Officer of the Harvard Management Company, Inc. from September 2009 to April 2020, a member of its Operating Committee from September 2009 to December 2018 and chair of its Valuation Committee from June 2015 to December 2017 | | | None | |
| Nominees for Class I Directors | | | Age | | | Position(s) held with the Company | | | Expiration of Term | | | Director Since | | | Principal Occupation(s) During Past 5 Year | | | Number of Portfolios in Fund Complex Overseen by Director(1) | | | Other Directorships of Public or Registered Investment Companies Held by Director or Nominee for Director During Past Five Years | |
| Interested Director | | | | | | | | | | | | | | | | | | | | | | |
| David Miller(2) | | | 47 | | | Director | | | 2023 | | | 2019 | | | Head of Global Private Credit & Equity at Morgan Stanley and a member of the Morgan Stanley Investment Management (“MSIM” or “IM”) operating committee since 2016 | | | 4 | | | None | |
| Independent Director | | | | | | | | | | | | | | | | | | | | | | |
| Kevin Shannon | | | 68 | | | Director | | | 2023 | | | 2019 | | | Chief Financial Officer of the Harvard Management Company, Inc. from September 2009 to April 2020, a member of its Operating Committee from September 2009 to December 2018 and chair of its Valuation Committee from June 2015 to December 2017 | | | 4 | | | None | |
| Incumbent Class II Directors | | | | | | | | | | | | | | | | | | | | | | |
| Interested Director | | | | | | | | | | | | | | | | | | | | | | |
| Jeffrey S. Levin(3) | | | 42 | | | Chief Executive Officer and President, Director | | | 2024 | | | 2019 | | | Chief Executive Officer and President of the Company since October 2019; Chief Executive Officer and President of the other MS BDCs since their formation; Co-Head of Morgan Stanley’s North America Private Credit Team; Partner at The Carlyle Group and President of TCG BDC, Inc. and TCG BDC II, Inc. from May 2016 to February 2019 | | | 4 | | | None | |
| Independent Director | | | | | | | | | | | | | | | | | | | | | | |
| Joan Binstock | | | 69 | | | Director | | | 2024 | | | 2019 | | | Senior Advisor at Lovell Minnick Partners, LLC since July 2018; Partner at Lord, Abbett & Co. LLC from 2000 to March 2018, including positions as Chief Operating Officer and Chief Financial Officer | | | 4 | | | Brown Brother Harriman US Mutual Funds since September 2019; KKR Real Estate Select Trust, Inc. since August 2020; SimCorp A/S from April 2018 to March 2023 | |
| Incumbent Class III Directors | | | | | | | | | | | | | | | | | | | | | | |
| Independent Directors | | | | | | | | | | | | | | | | | | | | | | |
| Bruce D. Frank | | | 69 | | | Director | | | 2025 | | | 2019 | | | Retired | | | 4 | | | Landsea Homes Corp. since 2015 | |
| Adam Metz | | | 61 | | | Director | | | 2025 | | | 2019 | | | Head of International Real Estate of The Carlyle Group from October 2013 to April 2018 | | | 4 | | | Seritage Growth Properties from March 2022 to present; Galata Acquisition Corp. from 2021 – present; Hammerson PLC from July 2019 – present | |
| | | Dollar Range of Common Stock Beneficially Owned in the Company(1)(2) | | | Aggregate Dollar Range of Equity Fund Complex(1)(2) | | ||||||
Interested Directors | | | | | | | | ||||||
David N. Miller | | | | | | ||||||||
Jeffrey S. Levin | | | Over $100,000 | | | Over $100,000 | | ||||||
Independent Directors | | | | | | | | ||||||
Joan Binstock | | | | | | ||||||||
Bruce D. Frank | | | $ | 10,001 – $50,000 | | | $ | | |||||
Kevin Shannon | | | | | | ||||||||
Adam Metz | | | Over $100,000 | | | Over $100,000 | |
| | | Age | | | Position | | | Number of Portfolios in Fund Complex Overseen by Officer(1) | | | Officer Since | |
Orit Mizrachi | | | 49 | | | Chief Operating Officer and Secretary | | | 2 | | | 2019 | |
Venugopal Rathi | | | 41 | | | Chief Financial Officer | | | 2 | | | 2019 | |
Grove Stafford | | | 44 | | | Chief Compliance Officer | | | 2 | | | 2019 | |
| | | | Age | | | Position | | | Number of Portfolios in Fund Complex Overseen by Officer(1) | | | Officer Since | |
| Orit Mizrachi | | | 50 | | | Chief Operating Officer | | | 4 | | | 2019 | |
| Michael Occi | | | 39 | | | Chief Administrative Officer | | | 4 | | | 2023 | |
| Venugopal Rathi | | | 43 | | | Chief Financial Officer | | | 4 | | | 2019 | |
| Thomas P. Torrisi | | | 48 | | | Chief Compliance Officer | | | 4 | | | 2022 | |
| | Total Compensation from the Company | | Total Compensation from the Fund Complex(1) | | | Total Compensation from the Company | | Total Compensation from the Fund Complex(1) | | ||||||||||||||||
Joan Binstock | | | $ | 84,884 | | | | $ | 98,409 | | | | | $ | 87,500 | | | | $ | 262,500 | | | ||||
Bruce Frank | | | $ | 92,353 | | | | $ | 107,230 | | | |||||||||||||||
Bruce D. Frank | | | $ | 95,000 | | | | $ | 287,500 | | | |||||||||||||||
Kevin Shannon | | | $ | 84,884 | | | | $ | 98,409 | | | | | $ | 87,500 | | | | $ | 262,500 | | | ||||
Adam Metz | | | $ | 86,878 | | | | $ | 100,403 | | | | | $ | 87,500 | | | | $ | 262,500 | | |
Fiscal Year/Period | | | Audit Fees | | | Audit-Related Fees(1) | | | Tax Fees(2) | | | All Other Fees(3) | | ||||||||||||
2020 | | | | $ | 230,000 | | | | | $ | — | | | | | $ | 28,500 | | | | | $ | — | | |
2019 | | | | $ | 35,000 | | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
Fiscal Year/Period | | | Audit Fees | | | Audit-Related Fees(1) | | | Tax Fees(2) | | | All Other Fees(3) | | ||||||||||||
2022 | | | | $ | 390,000 | | | | | $ | — | | | | | $ | — | | | | | | | | |
2021 | | | | $ | 360,000 | | | | | $ | — | | | | | $ | — | | | | | $ | — | | |